DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
C••••••• W••••• M••••••••• L••
Latest filing Nov 20, 2024
First filing on the tape Jan 10, 2024 · 18 filings
RAUM
$41.5M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$41.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$20.8M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$41.5M as of Nov 20, 2024
Jan 10, 2024$0 then
HNW client RAUM$16.5M as of Nov 20, 2024
Jun 24, 2024$16.5M then
State-registered IARs (5.B.3)2 as of Nov 20, 2024
Jan 10, 20241 then
Employees (5.A)3 as of Nov 20, 2024
Jan 10, 20241 then
Private funds: no history
Practice profile
derived from the filing of Nov 20, 2024; every figure names its basis
- RAUM per advisor
- $20.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $584,507derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$25.0M60%
- High-net-worth individuals$16.5M40%
- Individual clients
- 61reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 71reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• J••• V••••••• | La Canada, Ca | Apr 11, 2024 | 24 y | 1 |
| D•••• K•••••• | La Canada, Ca | Apr 11, 2024 | 37 y | 3 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- T••••• M•••••• O•••••••• to H• W••••• P••••••• L••May 12, 2026 · RIA to a state-registered adviser
Joined, latest
- T••••• M•••••• O•••••••• from H•••••• S••••••••• I•••Apr 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- D•••• K•••••• from W•••••• I••••••••• S•••••••••Apr 11, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- R•••••• J••• V••••••• from W•••••• I••••••••• S•••••••••Apr 11, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••••• I••••••••• S•••••••••Jan 4, 2024 · Pasadena, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• C••••• L•• · Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
- K••••••• D•••• · Managing Membercontrolsince 01/2024 · owns 50% to 75%
- V•••••••• R••••••• J••• · Membercontrolsince 06/2024 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| La Canada, Ca | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Jul 26, 2024 to Aug 9, 2024
- State-registered IARs · 1 to 2Jul 26, 2024 to Aug 9, 2024
- Employees · 1 to 3Jun 24, 2024 to Jul 26, 2024
- Accounts · 0 to 71Apr 11, 2024 to Jun 24, 2024
- HNW clients · unset to 10.0Apr 11, 2024 to Jun 24, 2024
- Individual clients · unset to 61.0Apr 11, 2024 to Jun 24, 2024
- HNW RAUM · unset to 16500000.0Apr 11, 2024 to Jun 24, 2024
- Individual RAUM · unset to 25000000.0Apr 11, 2024 to Jun 24, 2024
- Non-discretionary RAUM · $0 to $41.5MApr 11, 2024 to Jun 24, 2024
- RAUM · $0 to $41.5MApr 11, 2024 to Jun 24, 2024
Signals
7 dated events
- T••••• M•••••• O•••••••• left C••••••• W••••• M••••••••• L•• for H• W••••• P••••••• L•• (registered 2026-05-13)May 12, 2026 · Advisor changed firm · fact
- Lee C•••• A•••••••• (Chief Compliance Officer) appeared on Schedule A of C••••••• W••••• M••••••••• L••Jun 24, 2024 · Control person joined · fact
- Phyllis K•••••• (Chief Compliance Officer) no longer on Schedule A of C••••••• W••••• M••••••••• L•• (listed 2024-04-08, absent 2024-04-10)Apr 10, 2024 · Control person left · inference
- J••• R•••••• V••••••• (Chief Compliance Officer) appeared on Schedule A of C••••••• W••••• M••••••••• L••Apr 10, 2024 · Control person joined · fact
- Phyllis K•••••• (Chief Compliance Officer) appeared on Schedule A of C••••••• W••••• M••••••••• L••Apr 8, 2024 · Control person joined · fact
- C••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 10, 2024 · First SEC registration · fact
- 2 advisors left W•••••• I••••••••• S••••••••• (Pasadena, CA) for C••••••• W••••• M••••••••• L•• within 8 daysJan 4, 2024 · Team lift-out · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $20.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026